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Securities regulation (51 - 60 of 218 items)

Justice and Law Enforcement:

Evaluation of Steps Taken to Address the Problem of Unpaid Arbitration Awards
Published: Apr 27, 2001. Publicly Released: May 8, 2001.

Financial Services Regulators:

Better Information Sharing Could Reduce Fraud
Published: Mar 6, 2001. Publicly Released: Mar 6, 2001.

Financial Markets and Institutions:

Procedures for Updating Arbitrator Disclosure Information
Published: Nov 9, 2000. Publicly Released: Dec 4, 2000.

Securities Pricing:

Trading Volumes and NASD System Limitations Led to Decimal-Trading Delay
Published: Sep 20, 2000. Publicly Released: Oct 24, 2000.

Securities and Exchange Commission:

Unlisted Trading Privileges
Published: Sep 19, 2000. Publicly Released: Sep 19, 2000.

Auditing and Financial Management:

Expenditures and Revenues of State Securities Regulatory Agencies
Published: Aug 15, 2000. Publicly Released: Sep 13, 2000.

Securities and Exchange Commission:

Selective Disclosure and Insider Trading
Published: Sep 7, 2000. Publicly Released: Sep 7, 2000.

Mutual Fund Fees:

Additional Disclosure Could Encourage Price Competition
Published: Jun 7, 2000. Publicly Released: Jul 5, 2000.

Securities Arbitration:

Actions Needed to Address Problem of Unpaid Awards
Published: Jun 15, 2000. Publicly Released: Jun 26, 2000.

On-Line Trading:

Better Investor Protection Information Needed on Brokers' Web Sites
Published: May 9, 2000. Publicly Released: Jun 8, 2000.